} and a capital market investment consultant, namely {D}.Following the report and further probed into the case by Globlex Securities Company Limited, it was found during the first investigation that {A
-employees of UOB Kay Hian Securities (Thailand) PCL (UOB Kay Hian), {C}, a capital market investment consultant and the Vice President of institutional Dealing Department of UOB Kay Hian and {D}, a capital
No. Tor Lor Thor. 8/2557, as amended by the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 48/2560. SEC therefore ordered the approval of all three investment consultants on
therefore suspended the approval of {A} as a securities investment consultant and banned her from performing duties as a branch manager in business related to capital market for four months, starting from 6
Bangkok, 17 August 2016 - The SEC has suspended two capital market investment consultants, namely {A} for making unauthorized trading decisions, and {B} for giving investment advice without any
., institutional and high net worth investors, to enhance competitiveness of asset management companies and diversify choices of investment for investors with higher risk tolerance. The draft revision aims to allow
fund (RMF) and maintain the same benefits given to active PVD members in the event that the employers? PVD is dissolved or the employees? membership ends. The Capital Market Supervisory Board (CMSB) has
Bangkok, 21 January 2019 - The SEC has revoked approval for two investment consultants for using investors' trading accounts to seek benefits for themselves, namely (1) {A}, capital market investment
money to Pimnara, who will use the money to trade securities and share the capital gains with the investors. The SEC hereby notifies that investglobalmanagement.com, iqoption.com and the aforementioned
Lor Thor 8/2557 Re: Rules on Personnel in the Capital Market Business dated 3 June 2014. The SEC has therefore revoked Atchmima's approval as securities investment consultant for 10 years, and